Templates
Wealth Management
Non-Discretionary Investment Management Agreement Template
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Non-Discretionary Investment Management Agreement Template

Streamline your financial objectives and risk assessments with our comprehensive Non-Discretionary Investment Management Agreement Template workflow.
1
Identify Client's Financial Objectives and Goals
2
Assess Client's Risk Tolerance and Investment Preferences
3
Conduct Market Analysis and Research
4
Design an Investment Strategy
5
Approval: Investment Strategy
6
Preparation of the Non-Discretionary Investment Management Agreement
7
Review Legal and Regulatory Considerations
8
Approval: Legal Team
9
Set up Meeting to Discuss the Prepared Agreement
10
Discuss the Terms and Conditions of the Agreement with the Client
11
Seek Client's Feedback
12
Revise the Agreement Based on Client's Feedback
13
Approval: Client's Feedback
14
Prepare the Final Version of the Agreement
15
Obtain Client's Signature and Final Approval
16
Initiate Investment Transactions
17
Set up Periodic Reviews and Reports for the Client
18
Record all Documentation for Future Audits
19
Report to Regulatory Bodies
20
Implement a Continuous Monitoring and Adjustment Procedure